suitability

CIRO fines National Bank Financial $1M for inadequate supervision of rep CIRO fines National Bank Financial $1M for inadequate supervision of rep

Regulation

CIRO fines National Bank Financial $1M for inadequate supervision of rep

SRO says high risk, high volume trades, insufficient notes should have raised red flags

By Jonathan Got |March 13, 2026

3 min read

How firms can close the gaps on client-focused reforms How firms can close the gaps on client-focused reforms

Regulation

How firms can close the gaps on client-focused reforms

Industry experts offer tips after regulators find shortcomings in suitability, KYP and KYC compliance

By Alisha Hiyate |January 29, 2026

7 min read

Industry falling short on CFR compliance: CSA, CIRO Industry falling short on CFR compliance: CSA, CIRO

Regulation

Industry falling short on CFR compliance: CSA, CIRO

Review documents failings in meeting KYC, KYP, suitability requirements

By James Langton |December 10, 2025

3 min read